Internal controls (31 - 40 of 70 items)
Securities Markets: Opportunities Exist to Enhance Investor Confidence and Improve Listing Program Oversight
GAO-04-75: Published: Apr 8, 2004. Publicly Released: May 11, 2004.
Financial Audit: Federal Deposit Insurance Corporation Funds' 2003 and 2002 Financial Statements
GAO-04-429: Published: Feb 13, 2004. Publicly Released: Feb 13, 2004.
Government-Sponsored Enterprises: A Framework for Strengthening GSE Governance and Oversight
GAO-04-269T: Published: Feb 10, 2004. Publicly Released: Feb 10, 2004.
SEC and CFTC Fines Follow-Up: Collection Programs Are Improving, but Further Steps Are Warranted
GAO-03-795: Published: Jul 15, 2003. Publicly Released: Aug 14, 2003.
Securities Investor Protection: Update on Matters Related to the Securities Investor Protection Corporation
GAO-03-811: Published: Jul 11, 2003. Publicly Released: Aug 11, 2003.
Financial Statement Restatements: Trends, Market Impacts, Regulatory Responses, and Remaining Challenges
GAO-03-138: Published: Oct 4, 2002. Publicly Released: Oct 23, 2002.
SEC Enforcement: More Actions Needed to Improve Oversight of Disgorgement Collections
GAO-02-771: Published: Jul 12, 2002. Publicly Released: Jul 24, 2002.
Regulatory Initiatives of the National Association of Insurance Commissioners
GAO-01-885R: Published: Jul 6, 2001. Publicly Released: Aug 6, 2001.
Financial Services Regulators: Better Information Sharing Could Reduce Fraud
GAO-01-478T: Published: Mar 6, 2001. Publicly Released: Mar 6, 2001.
Securities Pricing: Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
GGD/AIMD-00-319: Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.